FERMI NATIONAL ACCELERATOR LABORATORY
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DIRECTOR'S POLICY MANUAL |
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July 1, 2005 |
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Approved
by: Piermaria J. Oddone, Director Revised – 03/25/08 |
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FERMILAB
POLICY MANUAL |
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Table
of Contents |
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Fermilab Policy Manual |
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This Manual provides a compilation of the
Fermilab Policies that constitute the management practices of the laboratory.
The purpose of this manual is to control Fermilab policy, practices and
procedures, to assure appropriate flowdown,
response and implementation of externally imposed requirements and internally
developed initiatives. The policy system includes necessary documentation for
receipt, distribution, review, control and response of internally and
externally imposed DOE Orders, Federal, state and local laws and regulations.
The process further provides for consistent review and interpretation of DOE
directives, Federal, State and local laws and regulations, formal
establishment of policy with implementation guidance, development of specific
implementation procedures by line organizations, independent review and
formal approval of procedures, control of changes to policy and procedures,
and independent audit and self-assessment of policy implementation. |
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Fermilab policies typically are
initiated as a result of either external input (e.g., new DOE Orders or
Federal, State and local laws and regulations) or internal Fermilab
initiatives. External initiators, normally DOE Orders, are transmitted in
formal correspondence. Internal initiatives usually result from managers
becoming aware of Federal, state and local laws and regulations that have an
impact on the laboratory. |
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1. Laboratory Policy |
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Laboratory policies are top-level documents
that provide guidance to the laboratory. These documents are the expression
of the Director's management philosophy and are the management documents for
the laboratory. These policies are developed and approved by the Director
with the assistance of the Associate Director for Administration. |
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All policy documents reside in the
Fermilab Policy Manual, which is a controlled document. Subordinate documents
implement the Director's policies and are the responsibility of the
Division/Section Heads. It is the responsibility of the Division/Section
Heads to ensure that all sub-ordinate documents developed by the Divisions
and Sections are consistent with and in support of the Director's policy. |
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2. Programs |
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Program documents are developed by the
Division/Section Heads to implement the policies formulated by the Director.
These programs may be laboratory-wide if necessary or directed to specific
activities as required. Programs consist of statements of strategies and
objectives, and methods to accomplish policy objectives as stated by the
Director in the Fermilab Policy Manual. Line management is responsible for
the implementation of the programs. |
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3. Program Implementation Plans |
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Program Implementation Plans identify Division/Section
organization, responsibilities, and resources that are necessary to
accomplish the objectives of the Division/Section programs. The plans are
developed by Division /Section personnel and are reviewed by Division/Section
Heads for consistency with laboratory programs. They are approved by
Division/Section Heads. |
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4. Procedures |
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Procedures are dated, detailed
step-by-step courses of action for carrying out policy or program elements.
Laboratory-wide procedures will be developed where a standard approach
throughout the laboratory is deemed the best course of action. These
procedures will be reviewed and approved by the appropriate Division/Section
Head. If they are laboratory-wide in scope they will be approved by the
Director or his designate. For example, Laboratory-wide procedures have been
established for obtaining protective footwear and eyewear. |
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List of Fermilab Policies |
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No.
1.000 Rev. 0 1.0
Title
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2.0 Effective
Date |
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1/1/99 |
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3.0 Scope
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The Laboratory Director has overall
responsibility for establishing and maintaining Fermilab’s policies. It is the policy of Fermilab to operate the Laboratory consistent
with all contract requirements and commitments and to comply with all
applicable DOE Orders, Federal, State and local laws and regulations. In all
cases, the Directorate receives and reviews all new DOE Orders or other requirements imposed on the Laboratory, and establishes
Fermilab policies. Specific responsibilities for policy development and
conduct of the annual review of existing policies have been delegated to the
Associate Director for Administration. |
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4.0 Applicability
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All Fermilab policies issued by the
Director have Laboratory-wide applicability. All Laboratory employees shall
follow Fermilab policies that are implemented by Division/Section programs
and procedures. The Directorate shall approve Division/Section programs and
procedures that implement Laboratory-wide policies. |
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5.0 Process
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Upon receipt of a DOE Directive, Order, or
other outside initiative, the document shall be forwarded to the Associate Director
for Administration, who is designated as the central point of contact for
these documents. The Associate Director for Administration shall review the
document, in conjunction with current policies and practices, for
applicability at Fermilab. This includes an applicability review of the
document against the Universities Research Association, Inc. (URA) contract
for the operation of the Fermi National Accelerator Laboratory to assess
consistency with contract requirements and commitments. The Associate
Director is responsible for developing a formal position on the applicability
of the new directive, and determine one of three possible courses of action:
1.) the directive does not apply to Fermilab; 2.) a waiver or postponement of
the directive's requirements should be sought; 3.) the directive does apply
in whole or in part, and sets an implementation schedule and approach for the
development of a policy and implementation plan. |
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The Associate Director for Administration, is responsible for implementing follow-up
of the selected course of action. In the case of alternative 3, a
policy-working group will normally be established by the Associate Director
for Administration to draft the policy for review and approval. |
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Fermilab policies may also be internally
initiated from the Office of the Director in which case the Associate
Director for Administration will provide policy development guidance to a
policy working group, which has the responsibility for drafting the policy
for review and approval. |
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The policy working group assigned
responsibility for a DOE Directive or internal Fermilab initiative normally
prepares a plan for implementation of the Directive or initiative, and drafts
a policy statement for the Director’s signature. This policy shall be consistent with the Fermilab contract and
existing Fermilab policies, procedures and programs. |
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All Fermilab policies require review and
signature of the Director. Approved policies shall be incorporated into the
Fermilab Policy Manual, designated by sequential number with revision number
and distributed as a formal, controlled, Laboratory-wide document. |
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If formal procedures are needed for the
implementation of a new policy, the procedures will be prepared by the
responsible implementing organization. Procedures shall then be reviewed by cognizant organizations, including the Directorate, and
other line organizations, and approved by the cognizant authority. Required
training shall be conducted prior to implementation. The Directorate shall
approve all division/section level procedures that implement Laboratory-wide
policies. |
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Self-assessments performed, as part of the
ongoing Fermilab Self-Assessment Program, shall include policy reviews to
assure that actual practices or operations are consistent with the intent of
the policy and any implementing procedures. |
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6.0 Change
Process |
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Change requests for all policies contained
in this manual are to be submitted to the Associate Director for Administration
in writing for processing. All changes to this manual require the Director's
signature. Revisions to Division/Section policy implementing procedures shall
require the same level of review and approval as required for issuance.
Requesters will be notified of the disposition of their requests at the
completion of the analysis of the impact on existing policies and procedures.
No others may publish or disseminate policy that has scope or effect outside
their immediate area of responsibility |
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No. 2.000 Rev. 0 1.0
Title
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2.0
Effective Date 1/1/99 |
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3.0 Scope This policy
addresses the employment practices of the laboratory that implement Federal,
State and local laws and regulations. |
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4.0 Applicability
This policy
applies to all employees of Fermilab, Users, Visitors, Fermilab contractors
and their subcontractors. |
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5.0 Policy
It shall be the
policy of Fermilab to employ qualified individuals without discriminating on
the basis of race, gender, color, national origin, age, military background
and disability. All employment decisions shall be based on objectively
obtained data and uniformly applied information. The Laboratory Services
Section will publish and maintain a Personnel Policy Guide that contains the
procedures for use within the laboratory. |
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No. 4.000 Rev. 0 1.0 Title
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2.0
Effective Date 1/1/99 |
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3.0
Scope This policy
addresses the safe operation of the equipment and facilities that comprise
Fermilab. Particular emphasis is placed on continuous shift operations. |
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4.0 Applicability This policy
applies to all operations that are conducted at Fermilab. |
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5.0 Policy
It is the policy
of Fermilab to conduct all operations in a safe, responsible manner.
Division/Section Heads shall implement programs for their areas of responsibility
to insure that all operations are conducted in this manner. Organizations
that have continuous operations shall have procedures in place that assure
the smooth and safe transition of operations to each succeeding shift. |
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1.0 Title
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2.0 Effective
Date 1/1/99 |
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3.0 Scope This policy
covers all of the maintenance activities at the laboratory. |
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4.0 Applicability
This policy
applies to all employees of Fermilab and Users, Visitors, Fermilab
contractors and their subcontractors when on-site. |
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5.0 Policy
Fermilab
has four general goals for its maintenance program. 1. That facilities and equipment are maintained in an operating and safe
condition. 2. That maintenance operations are conducted in a safe, deliberate and
efficient manner. 3. That maintenance activities are carried out with minimal impact on
facility or equipment availability.
4. That systems are maintained with the objective of achieving high
reliability within an established budget. To achieve
these goals, Fermilab incorporates the following specific policies. Facility Maintenance: Fermilab
will carry out facility condition assessment surveys on a three-year cycle.
The facilities surveyed will include all buildings, structures, and
utilities. The results of the assessment will be incorporated into a
Maintenance Management Plan that will include prioritization of tasks and a long-term
schedule for completion of maintenance related tasks. Accelerator
and Beam-Line Maintenance: The
accelerators and beam-lines will be treated as systems with specific
operating goals. The relative success of achieving these goals will be tracked
by performance measures. Goals are established by agreement with the
Director. The maintenance program will be designed to meet the goals
established for each accelerator and beam-line. Fermilab's
operating goals for accelerator and beam-line systems will include: Operating
Reliability, including up-time and availability. Impact on
ES&H. For example, to minimize waste streams, minimize accident loss
time, and to provide healthful working conditions. For each
accelerator or beam-line system, the maintenance plan will be designed to
optimize predictive, preventative and corrective maintenance activities
during scheduled and unscheduled shutdowns. Each shutdown will be uniquely
configured to balance the activities, logistics and crafts required. During
periods of machine operations, short maintenance shutdowns are discussed at
regularly scheduled operations meetings and then coordinated by the Beams
Division Run Coordinator. For longer shutdowns, plans are presented at the
weekly scheduling meeting and approved by the Director. Detector
Maintenance: Major
detector systems will be treated as systems with specific operating goals,
including specific goals for up-time and availability. The relative success
of achieving these goals will be tracked by performance measures. Goals are
established by agreement with the Director. Research
equipment will be maintained under the direction of a responsible research
scientist. Maintenance will be commensurate with the requirements of the
research being done with the equipment. The maintenance program will include
a budget and schedule, and a mechanism for tracking equipment failure. A
program for preventive and predictive maintenance should also be developed if
appropriate. |
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No. 6.000 Rev. 0 1.0 Title
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2.0 Effective
Date 1/1/99 |
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3.0 Scope
This policy
covers the negotiation and contracting for all goods and services that are
obtained by the laboratory. |
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4.0 Applicability This policy
applies to all employees of Fermilab, Users and any others who use an account
at Fermilab to acquire goods and services. |
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5.0 Policy
It is Fermilab's procurement
policy to abide by all provisions of the prime contract, the applicable
Federal, state and local laws and regulations, and good business practices.
It is the policy of the Laboratory to obtain competition for goods and
services in our procurements to the maximum extent practical. Authority to
Commit the Laboratory All
Division/Section Heads and a number of employees have been delegated
signature authority in various dollar amounts. This authority is for internal
management purposes and does not empower its holders to make commitments,
orally or in writing, that contractually bind the Laboratory. The authority to
make contractual commitments outside of the Laboratory is delegated
specifically to me by Universities Research Association, Inc., and I, in
turn, have authorized the Head of the Business Services Section to bind the
Laboratory contractually. He, in turn, has delegated parts of this authority
to various procurement personnel. Only those persons possessing such
specifically delegated authority may make commitments or sign documents that
contractually bind the Laboratory. Responsibility
of Staff in Dealing with Outside Organizations Scientific and
technical staff personnel often become involved in the procurement process.
These persons do not possess authority to commit the Laboratory, and they
must exercise restraint and discretion in their communications with outside
organizations so that their comments are not construed by the latter as
commitments on behalf of the Laboratory. Even casual conversation can result
in potential bidders, contractors, or vendors inferring the existence of a
commitment when it was not intended by the Laboratory. In some instances, a
legally binding oral contract or contract change could result. Procurement personnel,
as assigned by the Head of the Business Services Section, are responsible for
all negotiations on contracts and purchase orders. This authority cannot be
assumed by other Fermilab personnel. Non-Competitive
Contracting It is the
responsibility of the Laboratory to obtain competition for goods and services
in our procurements to the maximum extent practical. We have recently been
questioned about the adequacy of our justification for placement of contracts
without competition. I have requested the Head of the Business Services
Section to review our procedures for sole source justifications to ensure
that we meet the stringent criteria which we are legally bound to follow for
non-competitive procurements. After-the-Fact
Requisitions In the past, GAO
has indicated instances of after-the-fact contracting which occurred at other
laboratories as a result of Laboratory personnel dealing with contractors
prior to involvement of the Business Services Section procurement personnel.
The commencement of work can only be authorized by procurement personnel with
proper authority. The Laboratory is not obligated and will not pay for work
or services that were initiated before a legally binding contract or purchase
order becomes effective. It is possible that the Fermilab staff person making
a commitment could be personally liable to a party he or she induced to begin
work prior to the existence of a contract. Invoice
Certification Anyone certifying
an invoice for payment by the Laboratory must be fully cognizant of facts
related to such invoices, particularly that the services have been performed
or the supplies delivered in an acceptable manner. |
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1.0 Title
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2.0 Effective
Date 1/1/99 |
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3.0 Scope This policy
addresses the appropriate use of "make or buy" decisions to
maintain appropriate skills and expertise within the laboratory. |
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4.0 Applicability
This policy
applies to all Fermilab employees. |
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5.0 Policy
In keeping with
its research mission, Fermilab does not routinely engage in the type of
operations (i.e., manufacturing) requiring "make-or-buy" decisions.
It is the general policy of the Federal Government to rely upon the private
sector for goods and services and to avoid competition with the private
sector. It is likewise the general policy of Fermilab to procure needed
products from the private sector at the most economical cost and not to
fabricate an item or component in-house unless the item is not available
(quality, quantity, delivery, and other essential factors considered) from a
private source at equal or lower prices. Since circumstances may exist,
however, where it is necessary and beneficial to utilize in-house facilities
and labor, the Laboratory recognizes the need to maintain and support
efficient in-house facilities and capabilities in program-critical areas. When the
requester of a product indicates that in-house sources (chargeback
organizations) should be used and where the estimated value added would
exceed $50,000, he or she shall prepare a justification which addresses the
applicable factors from the following list. A description of the work to be
performed and the justification shall then be submitted to the responsible
Division/Section Head for concurrence. The Head of the Business Services
Section will then review and approve this justification. When the estimated
value exceeds $100,000, the Directorate will also review and approve the
justification. Factors to be
Considered The technical
nature of the item, future maintenance and repair requirements, engineering,
tooling, start-up costs, market conditions, and the availability of personnel
and material. The competence,
abilities, experience, and operational capacities available from in-house and
outside sources. The effects on
the employment levels, capacity, workload and capital investments of the
in-house organization capable of providing the required product or service. The maintenance
of a well-trained work force to perform services not readily available from
commercial sources; i.e., repair of radioactive components. The
environmental, safety, health, and/or legal ramifications associated with
outside sources. The impact of the
product or service on the program schedule and/or criticality of operations. The anticipated
number and technical complexity of design changes inherent to the product. General
considerations such as the quantity, quality, delivery, and overall cost of
the required item(s). |
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No. 8.000 Rev. 0 1.0 Title
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2.0 Effective
Date 1/1/99 |
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3.0 Scope This policy covers the design of equipment and apparatus used at
Fermilab. |
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4.0 Applicability
This policy applies to all Fermilab employees, Users and Visitors. |
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5.0 Policy All equipment designed for use in the laboratory shall be designed in
accordance with the Fermilab Engineering Standards Manual and generally
accepted Engineering best practices. |
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No. 9.000 Rev. 0 1.0 Title
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2.0 Effective
Date 1/1/99 |
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3.0 Scope This policy
addresses the badge requirements for all Users and Visitors. |
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4.0 Applicability. This policy
applies to all Users and Visitors |
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5.0 Policy All users are to
have valid Fermilab users' identification cards. The Laboratory issues such
ID cards only to bona fide users, defined as visiting scientists, graduate students
or technical support staff affiliated with institutions participating in
Fermilab experiments. The spokesperson for the applicant's Fermilab
experiment signs the ID application form. (A person who lacks appropriate
institutional affiliation may obtain a Fermilab user's ID card at the
specific request of the spokesperson for the applicant's experiment, or at
the request of the Fermilab Directorate.) To obtain a Fermilab user's ID, the
applicant must certify current medical insurance coverage. Fermilab users'
IDs are normally issued for two years. However, if a user's insurance
coverage or institutional affiliation lapses, Fermilab considers the user's
ID no longer valid. |